Arnold N. Weinberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arnold Nathan Weinberg was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1964. Arnold had worked at 8 firms and has passed the Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2003 - April 9, 2013
INTL CUSTODY & CLEARING SOLUTIONS INC.
May 23, 2003 - December 5, 2003
SUMMIT BROKERAGE SERVICES, INC.
February 9, 2000 - January 2, 2001
JWGENESIS SECURITIES, INC.
February 1, 2000 - November 8, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 28, 1996 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
July 29, 1988 - June 30, 1999
JW GENESIS CLEARING CORP.
September 15, 1971 - December 11, 1971
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
December 8, 1964 - August 27, 1971
DEHAVEN & TOWNSEND, CROUTER & BODINE INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/4/1964
Registered Representative ExaminationCurrent Firm
INTL CUSTODY & CLEARING SOLUTIONS INC.
CRD#: 23952 / SEC#: , 8-40771
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HARROD, PATRICIA MARIE | DIRECTOR | 6180887 |
| LYON, CHARLES MARTIN | CHIEF EXECUTIVE OFFICER | 4000852 |
| NGUYEN, XUONG THO | DIRECTOR | 2249867 |
| O'CONNOR, SEAN MICHAEL | DIRECTOR | 2534352 |
| SEPHTON, BRIAN TRIGGER | DIRECTOR | 4141441 |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
| WAGSTAFF, CONNER FRED III | CFO/TREASURER/FINOP | 1427591 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
